NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Code of Conduct Scope: Covers all advisory activities.
Registration Validity: Valid until suspended or cancelled.
Investor Data Protection: Implement security measures.
Grievance Redressal: Listed entities approach SEBI for disputes.
Corporate Governance: Proxy advisors enhance transparency.
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NISM 3A Securities Intermediaries Compliance
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